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Detailed Report
MISTY JONES
MISTY MARY JONES, MISTY M TARVER
CRD#: 2944063
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 703 TRANCAS STREET
3 & 4 FINANCIAL PLAZA
NAPA, CA 94558
Registration History
20002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - Present (20 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - Present (23 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1999 - 2000 (<1 year)
License(s)

State Registrations

B
Alaska 12/3/2020
B
Massachusetts 3/24/2005
B
Arizona 4/15/2005
B
Michigan 2/11/2019
B
California 7/18/2001
B
Minnesota 1/4/2012
IA
California 11/22/2004
B
Montana 8/28/2013
B
Colorado 3/24/2005
B
Nevada 1/11/2018
B
District of Columbia 7/5/2022
B
New Hampshire 6/3/2024
B
Florida 4/14/2010
B
New Mexico 8/12/2014
B
Hawaii 3/23/2005
B
New York 2/8/2021
B
Idaho 1/19/2017
B
Oklahoma 6/28/2024
B
Illinois 1/9/2007
B
Oregon 3/23/2005
B
Indiana 3/16/2021
B
Pennsylvania 8/6/2020
B
Iowa 6/15/2022
B
South Dakota 12/4/2020
B
Kansas 12/4/2020
B
Texas 9/29/2009
B
Louisiana 3/23/2005
IA
Texas 2/15/2011
B
Maine 1/4/2019
B
Virginia 6/15/2009
B
Maryland 3/23/2005
B
Washington 3/28/2005

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
703 TRANCAS STREET 3 & 4 FINANCIAL PLAZA, NAPA, CA 94558
703 TRANCAS STREET, NAPA, CA 94558
Registered with this firm since 11/22/2004
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
703 TRANCAS STREET 3 & 4 FINANCIAL PLAZA, NAPA, CA 94558
703 TRANCAS STREET, NAPA, CA 94558
Registered with this firm since 7/17/2001
Previous Registration(s)
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B
 06/08/1999 - 04/14/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.